Displaying 9 results
Osaic, Securities America fined by Finra over cybersecurity
The regulator fined the firms $150,000 each for failures related to protecting thousands of clients’ private information and cybersecurity gaffes.
Independent Advisor Alliance enters Illinois with $165M team
The newest practice to affiliate with the firm is leaving Securities America after more than 30 years.
Atria Wealth attracts $350M firm from Osaic’s Securities America
New affiliate offers employers retirement plans and investments in multiple states.
LPL adds $130M team from Securities America
Fairfield, Connecticut-based Oak Tree Financial Group has three advisors.
LPL adds California team managing $150 million
The Sacramento-based firm, Bradford Capital Group, was previously affiliated with Securities America.
Team with $145M practice switches to Cetera Advisor Networks
North Carolina advisor team was previously affiliated with Securities America.
Illinois RIA joins LPL from Securities America
Thomas Reynolds and Kathleen Gfrorer of Oakbrook-based Landmark Capital are closing their RIA to join LPL’s corporate RIA.
Advisor Group RIAs add alts, and fresh conflict, to platform
The agreement between Advisor Group and CAIS on sales of alternative investments, and the revenue such sales would generate, is the crux of the matter.
LPL adds Securities America team managing $200 million
Stephen Walker and Wes Alston operate as Walker Alston Financial Group in San Antonio, Texas.
